Industry

A lot has changed since the last time the SEC solicited comments on investment advice standards in 2013. That’s why the new SEC Chairman Jay Clayton believes it’s time to do so again.

Welcome to the May edition of the Riskalyze Fintech Report Card, where Riskalyze CEO Aaron Klein gives you the thumbs up or thumbs down on the biggest pieces of news to hit advisor technology in the last month. Regardless of your Risk Number...

Vince Lumia was named head of the field and Mandell Crawley was named head of private wealth management.

Morgan Stanley rep barred from the industry for Venezuela bond trades, a Niagara Falls financial advisor is running for city council and Shareholder Services Group brings Advicent technology stack to its advisors.

UBS Wealth Management Americas advisors now will be paid based solely on the amount of assets and not the volume of transactions or the products they recommend for retirement accounts.

ETFs are the most popular investment vehicle among advisors, ahead of cash and mutual funds.

Giants like BlackRock and Vanguard are homing in on Australia.

Backlash to an attempted Vanguard takedown, investors are better at timing the market and Merrill Lynch adds an international advisor in Miami.

No need to consider difficulty in collection.

How technology will impact advice, Bogling and more.